Job ref no.: CT3116513-01#9061

Legal Compliance

AMAC Human Resources Consultants


Negotiable Per Month
Legal Compliance

  • Degree holder in Laws or related disciplines
  • Minimum 3 years of legal experience gained from sizable financial
  • Familiar with SFC regulations and other relevant legal and regulatory
  • Excellent written and verbal command of English and Chinese, fluency
in Putonghua
  • Strong organizational skills, good presentation and report writing
  • Reliable with high integrity and responsibility, strong commercial
sense and meticulous with good inter-personal skill
  • Experienced candidates will be considered as Senior level

Job Duties :
  • Responsible for fine-tuning, updating and implementing compliance
policies and procedures for the Company
  • Review placement/IPO document and provide comments
  • Monitoring the daily business and trading activities to ensure
compliance with internal policies, control procedures and external
  • Maintaining the compliance documentation
  • Provide compliance advice and support to management and business units
of the Company
  • Monitor local regulatory developments and coordinate with regulatory
bodies such as SFC
  • Supervise staff on staff dealing activities and code of ethics
  • Handle license applications, regular reporting and regulatory surveys/
  • Carryout AML compliance reviews and analysis, including continuous
monitoring of transaction from an AML perspective and conducting deep
dives on suspicious activity and reporting to senior management in a
timely manner
  • Perform regular review and checking of agreements and documents on
compliance and legal level
  • Prepare monthly compliance reports
  • Provide compliance training on related policies and procedures, and
promote awareness of compliance culture
  • Perform other duties as assigned

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More job information
Job ref no. CT3116513-01#9061
  • N/A
Job Function
  • 3 years - 8 years
Career Level
  • Middle management level
  • Degree